The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ABERDEEN GTR CHINA FD INC COM 003031101 2,399 181,627 SH   DFND 1,2 181,627 0 0
ABERDEEN SINGAPORE FD INC COM 003244100 1,358 102,441 SH   DFND 1,2 102,441 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 463 4,150 SH   DFND 1,2 4,150 0 0
ANADARKO PETE CORP UNIT 99/99/9999 032511404 3,725 125,000 SH   DFND 1,2 125,000 0 0
ATLANTIC ACQUISITION CORP COM 048206106 4,748 478,600 SH   DFND 1,2 478,600 0 0
BANK AMER CORP COM 060505104 23,437 781,500 SH Put DFND 1,2 0 0 0
BIG ROCK PARTNERS ACQUISI CO COM 089482103 3,747 381,400 SH   DFND 1,2 381,400 0 0
BOULDER GROWTH & INCOME FD I COM 101507101 409 37,934 SH   DFND 1,2 37,934 0 0
CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 329 27,807 SH   DFND 1,2 27,807 0 0
CASTLE BRANDS INC COM 148435100 54 43,557 SH   DFND 1,2 43,557 0 0
CELGENE CORP COM 151020104 1,014 11,372 SH   DFND 1,2 11,372 0 0
CHEGG INC COM 163092109 1,496 72,400 SH   DFND 1,2 72,400 0 0
COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 203668116 34 3,000,000 SH   DFND 1,2 3,000,000 0 0
CONNECTICUT WTR SVC INC COM 207797101 228 3,763 SH   DFND 1,2 3,763 0 0
CUSHING RENAISSANCE FD COM 231647108 992 63,088 SH   DFND 1,2 63,088 0 0
DREYFUS STRATEGIC MUNS INC COM 261932107 254 32,964 SH   DFND 1,2 32,964 0 0
ELLINGTON RESIDENTIAL MTG RE COM SHS BEN INT 288578107 160 14,620 SH   DFND 1,2 14,620 0 0
EQUITY COMWLTH COM SH BEN INT 294628102 9,405 306,667 SH   DFND 1,2 306,667 0 0
FLAHERTY&CRMN PFD SEC INCOM COM 338478100 204 10,717 SH   DFND 1,2 10,717 0 0
GABELLI EQUITY TR INC COM 362397101 323 52,700 SH   DFND 1,2 52,700 0 0
GENERAL ELECTRIC CO COM 369604103 179 13,251 SH   DFND 1,2 13,251 0 0
GILEAD SCIENCES INC COM 375558103 762 10,101 SH   DFND 1,2 10,101 0 0
GILDAN ACTIVEWEAR INC COM 375916103 339 11,740 SH   DFND 1,2 11,740 0 0
GLOBAL NET LEASE INC COM NEW 379378201 178 10,541 SH   DFND 1,2 10,541 0 0
GLU MOBILE INC COM 379890106 90 24,004 SH   DFND 1,2 24,004 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 3,646 375,500 SH   DFND 1,2 375,500 0 0
GRAINGER W W INC COM 384802104 210 743 SH   DFND 1,2 743 0 0
GUESS INC COM 401617105 226 10,899 SH   DFND 1,2 10,899 0 0
HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW 409735206 457 11,927 SH   DFND 1,2 11,927 0 0
HAYMAKER ACQUISITION CORP COM CLASS A 420870107 6,243 653,700 SH   DFND 1,2 653,700 0 0
HOLOGIC INC COM 436440101 4,857 130,000 SH   DFND 1,2 130,000 0 0
INDIA FD INC COM 454089103 465 18,882 SH   DFND 1,2 18,882 0 0
IONIS PHARMACEUTICALS INC COM 462222100 793 17,983 SH   DFND 1,2 17,983 0 0
ISHARES INC MSCI STH KOR ETF 464286772 22,635 300,000 SH Put DFND 1 0 0 0
ISHARES TR BARCLAYS 7 10 YR 464287440 20,638 200,000 SH Put DFND 1,2 0 0 0
LAUDER ESTEE COS INC CL A 518439104 202 1,352 SH   DFND 1,2 1,352 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 4,484 467,600 SH   DFND 1,2 467,600 0 0
LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 1,172 191,242 SH   DFND 1,2 191,242 0 0
MICROVISION INC DEL COM NEW 594960304 27 23,520 SH   DFND 1,2 23,520 0 0
MORGAN STANLEY CHINA A SH FD COM 617468103 493 19,781 SH   DFND 1,2 19,781 0 0
MORGAN STANLEY EM MKTS DM DE COM 617477104 204 26,065 SH   DFND 1,2 26,065 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,400 250,000 SH   DFND 1,2 250,000 0 0
NEW SR INVT GROUP INC COM 648691103 171 20,916 SH   DFND 1,2 20,916 0 0
NEW YORK MTG TR INC COM PAR $.02 649604501 178 30,030 SH   DFND 1,2 30,030 0 0
NOVAVAX INC COM 670002104 48 23,062 SH   DFND 1,2 23,062 0 0
NOVO-NORDISK A S ADR 670100205 375 7,616 SH   DFND 1,2 7,616 0 0
NUVEEN CALIFORNIA AMT QLT MU COM 670651108 407 30,063 SH   DFND 1,2 30,063 0 0
NUVEEN NEW YORK AMT QLT MUNI COM 670656107 234 19,274 SH   DFND 1,2 19,274 0 0
NUVEEN MUN HIGH INCOME OPP F COM 670682103 654 52,297 SH   DFND 1,2 52,297 0 0
OSPREY ENERGY ACQUISITION CO CL A COM 688397108 10,907 1,133,771 SH   DFND 1,2 1,133,771 0 0
PIONEER MUN HIGH INCOME ADV COM 723762100 116 10,834 SH   DFND 1,2 10,834 0 0
PIONEER MUN HIGH INCOME TR COM SHS 723763108 176 15,607 SH   DFND 1,2 15,607 0 0
PUTNAM MANAGED MUN INCOM TR COM 746823103 117 16,432 SH   DFND 1,2 16,432 0 0
R1 RCM INC COM 749397105 116 16,275 SH   DFND 1,2 16,275 0 0
RADIUS HEALTH INC COM NEW 750469207 469 13,046 SH   DFND 1,2 13,046 0 0
REAVES UTIL INCOME FD COM SH BEN INT 756158101 1,636 57,963 SH   DFND 1,2 57,963 0 0
RED HAT INC COM 756577102 757 5,064 SH   DFND 1,2 5,064 0 0
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 511 19,963 SH   DFND 1,2 19,963 0 0
ROYCE VALUE TR INC COM 780910105 467 30,000 SH   DFND 1,2 30,000 0 0
SEACHANGE INTL INC COM 811699107 47 17,473 SH   DFND 1,2 17,473 0 0
SEABRIDGE GOLD INC COM 811916105 2,170 200,000 SH   DFND 1,2 200,000 0 0
TCF FINL CORP *W EXP 11/14/201 872275128 1,535 262,337 SH   DFND 1,2 262,337 0 0
TEMPLETON EMERGING MKTS FD I COM 880191101 197 12,100 SH   DFND 1,2 12,100 0 0
TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 29,053 1,700,000 SH Put DFND 1,2 0 0 0
TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 1,470 86,000 SH Call DFND 1,2 0 0 0
TIME WARNER INC COM NEW 887317303 13,686 144,700 SH Call DFND 1,2 0 0 0
VOYA FINL INC COM 929089100 267 5,282 SH   DFND 1,2 5,282 0 0
WELLS FARGO CO NEW COM 949746101 472 9,000 SH Put DFND 1,2 0 0 0
VERISIGN INC COM 92343E102 10,670 90,000 SH Call DFND 1,2 0 0 0
VERISIGN INC COM 92343E102 19,276 162,588 SH   DFND 1,2 162,588 0 0
BLACKROCK MUNIYIELD QLTY FD COM 09254E103 155 12,226 SH   DFND 1,2 12,226 0 0
SALLY BEAUTY HLDGS INC COM 79546E104 166 10,103 SH   DFND 1,2 10,103 0 0
PENSARE ACQUISITION CORP COM 70957E105 6,893 709,177 SH   DFND 1,2 709,177 0 0
FIRST TR HIGH INCOME L/S FD COM 33738E109 206 13,717 SH   DFND 1,2 13,717 0 0
ABERDEEN ISRAEL FUND INC COM 00301L109 1,193 61,235 SH   DFND 1,2 61,235 0 0
ABERDEEN EMERGING MKTS SMALL COM 00301T102 2,319 156,678 SH   DFND 1,2 156,678 0 0
ABERDEEN CHILE FD INC COM 00301W105 1,205 133,326 SH   DFND 1,2 133,326 0 0
ABERDEEN INDONESIA FD INC COM 00305P106 1,078 147,856 SH   DFND 1,2 147,856 0 0
ABERDEEN LATIN AMER EQTY FD COM 00306K106 3,062 111,848 SH   DFND 1,2 111,848 0 0
ADVERUM BIOTECHNOLOGIES INC COM 00773U108 85 14,596 SH   DFND 1,2 14,596 0 0
AGIOS PHARMACEUTICALS INC COM 00847X104 610 7,462 SH   DFND 1,2 7,462 0 0
AGROFRESH SOLUTIONS COM 00856G109 77 10,514 SH   DFND 1,2 10,514 0 0
ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 494 41,583 SH   DFND 1,2 41,583 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 293 2,460 SH   DFND 1,2 2,460 0 0
ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 182 29,245 SH   DFND 1,2 29,245 0 0
AMPIO PHARMACEUTICALS INC COM 03209T109 129 38,026 SH   DFND 1,2 38,026 0 0
ARROWHEAD PHARMACEUTICALS IN COM 04280A100 115 16,017 SH   DFND 1,2 16,017 0 0
ASIA TIGERS FD INC COM 04516T105 573 45,225 SH   DFND 1,2 45,225 0 0
BARINGTON HILCO ACQUISITION COM 06759V101 2,038 190,480 SH   DFND 1,2 190,480 0 0
BIODELIVERY SCIENCES INTL IN COM 09060J106 101 44,689 SH   DFND 1,2 44,689 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 7,859 811,070 SH   DFND 1,2 811,070 0 0
BLACKHAWK NETWORK HLDGS INC NOTE 1.500% 1/1 09238EAB0 36,163 32,730,000 PRN   DFND 1,2 0 0 0
BLACKROCK ENHANCED EQT DIV T COM 09251A104 1,066 122,089 SH   DFND 1,2 122,089 0 0
BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 198 15,023 SH   DFND 1,2 15,023 0 0
BLACKSTONE MTG TR INC NOTE 4.750% 3/1 09257WAC4 984 1,000,000 PRN   DFND 1,2 0 0 0
BRISTOW GROUP INC NOTE 4.500% 6/0 110394AF0 1,813 1,650,000 PRN   DFND 1,2 0 0 0
CNX RESOURCES CORPORATION COM 12653C108 178 11,547 SH   DFND 1,2 11,547 0 0
CYS INVTS INC COM 12673A108 176 26,208 SH   DFND 1,2 26,208 0 0
CAPSTEAD MTG CORP COM NO PAR 14067E506 1,581 182,742 SH   DFND 1,2 182,742 0 0
CHESAPEAKE ENERGY CORP NOTE 2.250%12/1 165167CB1 64 70,000 PRN   DFND 1,2 0 0 0
CHIMERA INVT CORP COM NEW 16934Q208 176 10,121 SH   DFND 1,2 10,121 0 0
CIENA CORP DEBT 4.000%12/1 171779AK7 13,736 9,750,000 PRN   DFND 1,2 0 0 0
CLEARBRIDGE ENERGY MLP OPP F COM 18469P100 113 11,457 SH   DFND 1,2 11,457 0 0
CLOUGH GLOBAL EQUITY FD COM 18914C100 150 11,431 SH   DFND 1,2 11,431 0 0
COHEN & STEERS INFRASTRUCTUR COM 19248A109 307 14,332 SH   DFND 1,2 14,332 0 0
COLONY NORTHSTAR CR REAL EST COM CL A 19626A101 1,895 100,000 SH   DFND 1,2 100,000 0 0
CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 48,903 23,150,000 PRN   DFND 1,2 0 0 0
DENNYS CORP COM 24869P104 178 11,516 SH   DFND 1,2 11,516 0 0
DIGITAL TURBINE INC COM NEW 25400W102 77 38,345 SH   DFND 1,2 38,345 0 0
DRAPER OAKWOOD TECHNOLOGY COM CL A 26146L103 1,100 111,200 SH   DFND 1,2 111,200 0 0
EATON VANCE TX MGD DIV EQ IN COM 27828N102 255 22,046 SH   DFND 1,2 22,046 0 0
ENDOCYTE INC COM 29269A102 230 25,349 SH   DFND 1,2 25,349 0 0
ENPHASE ENERGY INC COM 29355A107 174 37,976 SH   DFND 1,2 37,976 0 0
ESPERION THERAPEUTICS INC NE COM 29664W105 393 5,427 SH   DFND 1,2 5,427 0 0
FEDERAL STR ACQUISITION CORP CL A 31421V107 4,786 493,952 SH   DFND 1,2 493,952 0 0
FRONTIER COMMUNICATIONS CORP PFD CONV SER-A 35906A207 14,871 1,294,293 SH   DFND 1,2 1,294,293 0 0
FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 2,502 337,200 SH Put DFND 1,2 0 0 0
GSV CAP CORP NOTE 4.750% 3/2 36191JAC5 1,504 1,500,000 PRN   DFND 1,2 0 0 0
GABELLI DIVD & INCOME TR COM 36242H104 413 18,699 SH   DFND 1,2 18,699 0 0
GABELLI HLTHCARE & WELLNESS SHS 36246K103 104 11,000 SH   DFND 1,2 11,000 0 0
GANNETT CO INC COM 36473H104 161 16,181 SH   DFND 1,2 16,181 0 0
GIGCAPITAL INC COM 37518N106 9,012 922,420 SH   DFND 1,2 922,420 0 0
GRANITE PT MTG TR INC NOTE 5.625%12/0 38741LAB3 6,385 6,500,000 PRN   DFND 1,2 0 0 0
GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 348 41,781 SH   DFND 1,2 41,781 0 0
GUIDEWIRE SOFTWARE INC COM 40171V100 5,081 62,857 SH   DFND 1,2 62,857 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 408 20,814 SH   DFND 1,2 20,814 0 0
HENNESSY CAP ACQUSTON CORP I COM 42588L105 11,201 1,131,401 SH   DFND 1,2 1,131,401 0 0
HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 1,465 620,712 SH   DFND 1,2 620,712 0 0
I AM CAP ACQUISITION CO COM 45074Q108 748 75,000 SH   DFND 1,2 75,000 0 0
IDERA PHARMACEUTICALS INC COM NEW 45168K306 85 46,408 SH   DFND 1,2 46,408 0 0
INCYTE CORP COM 45337C102 854 10,249 SH   DFND 1,2 10,249 0 0
INDUSTREA ACQUISITION CORP CL A 45579J104 15,586 1,588,758 SH   DFND 1,2 1,588,758 0 0
INTREPID POTASH INC COM 46121Y102 89 24,327 SH   DFND 1,2 24,327 0 0
INVESCO MORTGAGE CAPITAL INC COM 46131B100 175 10,697 SH   DFND 1,2 10,697 0 0
INVESCO MUN TR COM 46131J103 148 12,658 SH   DFND 1,2 12,658 0 0
INVESCO QUALITY MUNI INC TRS COM 46133G107 228 19,151 SH   DFND 1,2 19,151 0 0
JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 169 13,735 SH   DFND 1,2 13,735 0 0
JENSYN ACQUISITION CORP COM 47632B102 2,662 253,498 SH   DFND 1,2 253,498 0 0
JUST ENERGY GROUP INC COM 48213W101 345 78,162 SH   DFND 1,2 78,162 0 0
KBL MERGER CORP IV COM 48242A104 8,982 911,838 SH   DFND 1,2 911,838 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 5,645 576,647 SH   DFND 1,2 576,647 0 0
KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 192 19,000 SH   DFND 1,2 19,000 0 0
KEARNY FINL CORP MD COM 48716P108 168 12,957 SH   DFND 1,2 12,957 0 0
LAM RESEARCH CORP NOTE 1.250% 5/1 512807AL2 54,154 16,353,000 PRN   DFND 1,2 0 0 0
LANDCADIA HLDGS INC CL A 51476W107 7,212 718,334 SH   DFND 1,2 718,334 0 0
LAYNE CHRISTENSEN CO NOTE 8.000% 5/0 521050AD6 13,301 10,000,000 PRN   DFND 1,2 0 0 0
LIBERTY MEDIA CORP DEB 3.500% 1/1 530715AN1 30,396 51,143,000 PRN   DFND 1,2 0 0 0
LIBERTY MEDIA CORP DELAWARE NOTE 1.375%10/1 531229AB8 57,222 49,817,000 PRN   DFND 1,2 0 0 0
MGE ENERGY INC COM 55277P104 202 3,600 SH   DFND 1,2 3,600 0 0
MTECH ACQUISITION CORP COM CLASS A 55378W107 3,070 320,450 SH   DFND 1,2 320,450 0 0
MTECH ACQUISITION CORP *W EXP 08/01/202 55378W115 62 100,000 SH   DFND 1,2 100,000 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 2,773 283,000 SH   DFND 1,2 283,000 0 0
METHANEX CORP COM 59151K108 340 5,613 SH   DFND 1,2 5,613 0 0
MODERN MEDIA ACQUISITION COM 60765P103 4,940 497,500 SH   DFND 1,2 497,500 0 0
MORGAN STANLEY INDIA INVS FD COM 61745C105 311 10,238 SH   DFND 1,2 10,238 0 0
NAVIENT CORPORATION COM 63938C108 171 13,054 SH   DFND 1,2 13,054 0 0
NEUROCRINE BIOSCIENCES INC COM 64125C109 652 7,865 SH   DFND 1,2 7,865 0 0
NEW MEDIA INVT GROUP INC COM 64704V106 181 10,586 SH   DFND 1,2 10,586 0 0
NOVELLUS SYS INC NOTE 2.625% 5/1 670008AD3 2,064 337,000 PRN   DFND 1,2 0 0 0
NUVEEN QUALITY MUNCP INCOME COM 67066V101 860 65,433 SH   DFND 1,2 65,433 0 0
NUVEEN CA QUALTY MUN INCOME COM 67066Y105 875 65,335 SH   DFND 1,2 65,335 0 0
NUVEEN NEW JERSEY QULT MUN F COM 67069Y102 142 10,860 SH   DFND 1,2 10,860 0 0
OPES ACQUISITION CORP COM 68373P100 388 40,000 SH   DFND 1,2 40,000 0 0
OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 3,518 350,000 SH   DFND 1,2 350,000 0 0
PLUG POWER INC COM NEW 72919P202 91 48,050 SH   DFND 1,2 48,050 0 0
QUICKLOGIC CORP COM 74837P108 18 11,603 SH   DFND 1,2 11,603 0 0
RLJ LODGING TR CUM CONV PFD A 74965L200 19,795 779,959 SH   DFND 1,2 779,959 0 0
RESOLUTE FST PRODS INC COM 76117W109 92 11,036 SH   DFND 1,2 11,036 0 0
RESOURCE CAP CORP NOTE 4.500% 8/1 76120WAC8 22,388 23,000,000 PRN   DFND 1,2 0 0 0
RETAIL PPTYS AMER INC CL A 76131V202 163 13,994 SH   DFND 1,2 13,994 0 0
SABAN CAP ACQUISITION CORP COM CL A 78516C106 294 29,581 SH   DFND 1,2 29,581 0 0
SAGE THERAPEUTICS INC COM 78667J108 422 2,620 SH   DFND 1,2 2,620 0 0
SALESFORCE COM INC COM 79466L302 58,150 500,000 SH Put DFND 1,2 0 0 0
SALESFORCE COM INC COM 79466L302 83,765 720,248 SH   DFND 1,2 720,248 0 0
SELECT SECTOR SPDR TR ENERGY 81369Y506 2,049 30,400 SH   DFND 1 30,400 0 0
SERVICENOW INC COM 81762P102 6,142 37,124 SH   DFND 1,2 37,124 0 0
SERVICENOW INC NOTE 11/0 81762PAB8 21,249 9,399,000 PRN   DFND 1,2 0 0 0
SHUTTERFLY INC NOTE 0.250% 5/1 82568PAB2 41,950 33,173,000 PRN   DFND 1,2 0 0 0
SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 195 55,681 SH   DFND 1,2 55,681 0 0
SPIRIT RLTY CAP INC NEW COM 84860W102 173 22,319 SH   DFND 1,2 22,319 0 0
SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 538 50,000 SH   DFND 1,2 50,000 0 0
SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 3,954 654,675 SH   DFND 1,2 654,675 0 0
SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 540 63,340 SH   DFND 1,2 63,340 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 126,481 9,567,429 SH   DFND 1,2 9,567,429 0 0
TEGNA INC COM 87901J105 141 12,417 SH   DFND 1,2 12,417 0 0
TEKLA HEALTHCARE INVS SH BEN INT 87911J103 589 27,350 SH   DFND 1,2 27,350 0 0
TEMPLETON DRAGON FD INC COM 88018T101 355 15,972 SH   DFND 1,2 15,972 0 0
TETRAPHASE PHARMACEUTICALS I COM 88165N105 54 17,729 SH   DFND 1,2 17,729 0 0
TIBERIUS ACQUISITION CORP UNIT 02/28/2021 88633A206 757 75,000 SH   DFND 1,2 75,000 0 0
TOWN SPORTS INTL HLDGS INC COM 89214A102 86 11,353 SH   DFND 1,2 11,353 0 0
TRANSENTERIX INC COM NEW 89366M201 31 18,400 SH   DFND 1,2 18,400 0 0
TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 88,697 65,232,000 PRN   DFND 1,2 0 0 0
TWO HBRS INVT CORP COM NEW 90187B408 173 11,247 SH   DFND 1,2 11,247 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 10,035 1,025,000 SH   DFND 1,2 1,025,000 0 0
VERASTEM INC COM 92337C104 94 31,551 SH   DFND 1,2 31,551 0 0
VERTEX PHARMACEUTICALS INC COM 92532F100 621 3,808 SH   DFND 1,2 3,808 0 0
VIDEOCON D2H LTD ADR 92657J101 10,360 1,263,389 SH   DFND 1,2 1,263,389 0 0
VIRNETX HLDG CORP COM 92823T108 109 27,569 SH   DFND 1,2 27,569 0 0
VOYA INFRASTRUCTURE INDLS & COM 92912X101 213 14,019 SH   DFND 1,2 14,019 0 0
WASHINGTON PRIME GROUP NEW COM 93964W108 153 22,866 SH   DFND 1,2 22,866 0 0
WENDYS CO COM 95058W100 183 10,407 SH   DFND 1,2 10,407 0 0
WESTERN ASSET EMRG MKT DEBT COM 95766A101 219 15,078 SH   DFND 1,2 15,078 0 0
WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 115 10,000 SH   DFND 1,2 10,000 0 0
ZENDESK INC COM 98936J101 2,394 50,000 SH   DFND 1,2 50,000 0 0
ASSURED GUARANTY LTD COM G0585R106 365 10,081 SH   DFND 1,2 10,081 0 0
AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 5,375 538,000 SH   DFND 1,2 538,000 0 0
BANK OF NT BUTTERFIELD&SON L SHS NEW G0772R208 660 15,000 SH   DFND 1,2 15,000 0 0
BISON CAP ACQUISITION CORP ORD SHS G1142P104 4,722 475,000 SH   DFND 1,2 475,000 0 0
BRIGHTSPHERE INVESTMNT GRP P SHS G1644T109 3,940 250,000 SH   DFND 1,2 250,000 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 4,508 464,274 SH   DFND 1,2 464,274 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 21,754 2,233,456 SH   DFND 1,2 2,233,456 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 7,236 733,085 SH   DFND 1,2 733,085 0 0
ELECTRUM SPL ACQUISITION COR SHS G3105C104 8,842 851,819 SH   DFND 1 851,819 0 0
GOLDEN OCEAN GROUP LTD SHS NEW G39637205 83 10,467 SH   DFND 1,2 10,467 0 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 10,484 1,053,678 SH   DFND 1,2 1,053,678 0 0
MALLINCKRODT PUB LTD CO SHS G5785G107 155 10,684 SH   DFND 1,2 10,684 0 0
MOSAIC ACQUISITION CORP SHS CL A G62848109 1,470 150,000 SH   DFND 1,2 150,000 0 0
NATIONAL ENERGY SERVICES REU SHS G6375R107 5,157 519,302 SH   DFND 1 519,302 0 0
MYOVANT SCIENCES LTD COM G637AM102 203 9,552 SH   DFND 1,2 9,552 0 0
ONE MADISON CORP COM CL A G6772P100 2,016 210,000 SH   DFND 1,2 210,000 0 0
PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 497 49,000 SH   DFND 1,2 49,000 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 5,996 618,100 SH   DFND 1,2 618,100 0 0
SENTINEL ENERGY SVCS INC COM CL A G8062D102 3,599 371,000 SH   DFND 1,2 371,000 0 0
SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 184 18,544 SH   DFND 1,2 18,544 0 0
TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 667 63,846 SH   DFND 1,2 63,846 0 0
TPG PACE HLDGS CORP CL A G89827128 245 25,000 SH   DFND 1,2 25,000 0 0
UNION ACQUISITION CORP SHS G9366W101 12,813 1,337,500 SH   DFND 1,2 1,337,500 0 0
SAFE BULKERS INC COM Y7388L103 47 14,825 SH   DFND 1,2 14,825 0 0